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Presentation outline
• Some lessons about policy influence
• The RAPID Outcome Mapping
Approach (ROMA) to policy influence
• Group work: what can we do
together?
Some Lessons
Policy processes and social realities are complex –but
avoid oversimplifying
Research plays a minor role in policy
and practice
But it is possible for research to play a
role
Must understand external and internal
landscape
Policy and social entrepreneurs need
a set of skillsIntent is necessary!
Identify the problem
Commission research
Analyse the results
Choose the best option
Establish the policy
Evaluation
Implement the policy
Policy makers do not...
Monitoring and Evaluation
Agenda Setting
DecisionMaking
Policy Implementation
Policy Formulation
Policy processes are...
Civil Society
DonorsCabinet
Parliament
Ministries
Private Sector
The gap between
research and policy
Research Policy
gap
Bridge
No gap between research
and policy
Technocratic
networks
Ideological
think tanks
Internal
think tanks
UN Think
tanks
Public think
tanks
Political
parties
Lobbies
NGOs
corporations
Universities
Regulatory
bodies
Executive
Crowded
Map
Think tanks
Technocra
tic
networks
Ideological think tanks
Internal
think
tanks
UN/ifithink tanks
Public think tanks
Political parties
Lobbies
NGOs
corporations
Universities
Regulatory bodies
Executive
Think tanks
Values/ ideologies
Faith based think tanks
Faith leaders
Media (g)Media (t)
Legislature
Economic interests
The six lessons
Policy processes and social realities are complex –but
avoid oversimplifying
Research plays a minor role in policy
and practice
But it is possible for research to play a
role
Must understand internal and external
landscape
Policy and social entrepreneurs need
a set of skillsIntent is necessary!
Evidence
Experience & Expertise
Judgement
Resources
Values and Policy
Context
Habits & Tradition
Lobbyists & Pressure Groups
Pragmatics & Contingencies
What is most influential for
policymakers?
Source: Phil Davies Impact to Insight Meeting, ODI, 2005
Different notions
of evidence
•Colloquial (Contextual)
•Anything that seems reasonable
•Policy relevant
•Timely
•Clear Message
Policy Makers’ Evidence
Source: Phil Davies Impact to Insight Meeting, ODI, 2005
•‘Scientific’ (Context free)
•Proven empirically
•Theoretically driven
•As long as it takes
•Caveats and qualifications
Researchers’ Evidence
The six lessons
Policy processes and social realities are complex –but
avoid oversimplifying
Research plays a minor role in policy
and practice
But it is possible for research to play a
role
Must understand internal and external
landscape
Policy and social entrepreneurs need
a set of skillsIntent is necessary!
Health Care in Tanzania
“The results of household disease surveys informed processes of health service reform which contributed to a 43 and 46 per cent reduction in infant mortality between 2000 and 2003 in two districts in rural Tanzania.”
TEHIP Project, Tanzania: www.idrc.ca/tehip
The six lessons
Policy processes and social realities are complex –but
avoid oversimplifying
Research plays a minor role in policy
and practice
But it is possible for research to play a
role
Must understand internal and external
landscape
Policy and social entrepreneurs need
a set of skillsIntent is necessary!
An analytical framework
The political context – political
and economic structures and processes, culture, institutional pressures, incremental vs radical change etc.
The evidence – credibility,
the degree it challenges received wisdom, research approaches and methodology, simplicity of the message, how it is packaged etc
External Influences Socio-economic and cultural influences, donor policies etc
The links between policy
and research communities –networks, relationships, power, competing discourses, trust, knowledge etc.
A practical framework
External Influences political context
evidencelinks
Politics and Policymaking
Media, Advocacy, Networking
Research, learning & thinking
Scientific information exchange & validation
Policy analysis, & research
Campaigning, Lobbying
How do think tanks work?
Message
based on
Mode of work
Ideology, values
or interests
Applied, empirical
or synthesis
research
Theoretical or
academic research
Independent research
Consultancy
Influence/advocacy
The Media
Political parties
Applied research centres in universities
Internal think tanks, ideological centers, interest groups, NGOs, lobbies
Chief scientific advisors, Academic/Opinion leaders
“Oxbridge”
Consultancies
“Independent Think tanks”
Source: Mendizabal, E. and Sample, K. (2009) Think tanks and political parties in Latin America. IDEA: Sweden.
What functions do
think tanks play?
• Promote the adoption and implementation
of policies based on research.
• But also:
– Create and promote spaces for debate/
sounding boards for policy-makers
– Develop the capacity and train future
generations of policy-makers
– Legitimise and support narratives and policies
– Channel funds into political parties and other
partisan groups
How do we influence?Type of
influencing
Where? Through what channels? How? By what means?
Evidence
and advice
- National and international
policy discourses/debates
- Formal and informal meetings
- Research and analysis,
‘good practice’
- Evidence-based argument
- Providing advisory support
- Developing and piloting
new policy approaches
Public
campaigns
and
advocacy
- Public and political debates in
developing countries
- Public meetings, speeches,
presentations
- Television, newspapers, radio
and other media
- Public communications and
campaigns
- ‘Public education’
- Messaging
- Advocacy
Lobbying
and
negotiation
approaches
- Formal meetings
- Semi-formal and informal
channels
- Membership and participation
in boards and committees
- Face-to-face meetings and
discussions
- Relationships and trust
- Direct incentives and
diplomacy
Visibility and/or substance?
Visibility Substance
Short term ‘relevant’ research Long term research
Focus on solutions for ‘agreed’
problems
Engage with the definition of the problem
Media exposure Lobby, network, horse trading
Briefing papers, Opinion pieces Estimates, costed proposals, policy options
Website, Blogs, Facebook, etc. Academic publications, long reports
Online communities with millions of
hits
Communities with the right people
Delegations at high level global
conferences
Private meetings at Party conferences and
private meetings while planning for the high
level conferences
Event focused influence Problem focused influence
Global Go-To-Survey Prospect magazine Think Tank of the year
What actually matters?
• According to Andrew Rich, substantive influence depends on:
– Length of the process
– Where decisions are made
– Interest groups
– Involved in the problem definition
Marketing strategies only matter in terms of positioning your experts in the right policy spaces
Source: Rich, A. (2004) Think tanks, public policy and the politics of expertise. Cambridge University Press.
The six lessons
Policy processes and social realities are complex –but
avoid oversimplifying
Research plays a minor role in policy
and practice
But it is possible for research to play a
role
Must understand internal and external
landscape
Policy and social entrepreneurs need
a set of skillsIntent is necessary!
Policy and social
entrepreneurs
Storytellers
Engineers
Networkers
Fixers
The six lessons
Policy processes and social realities are complex –but
avoid oversimplifying
Research plays a minor role in policy
and practice
But it is possible for research to play a
role
Must understand external and internal
landscape
Policy and social entrepreneurs need
a set of skillsIntent is necessary
Conclusions
To improve impact, may need to:
• focus more on policy than research
• establish different incentives / culture
• establish different systems
• spend more on communications
• engage with different actors
• produce different products
• be ready to seize unexpected policy opportunities and move very fast
Bottom line issues
• We must command high quality
research for substantive influence
• We must reach policy-makers
• We must base our influence (including
the process) on research
• We must be credible
• And we must be relevant to our context
But also
• ‘Research-informed/based’ implies that
the audience or the person that is
influenced, bases its decisions or
behaviours on research
• The type of organisation that we are
affects the type of influencing
approaches we choose
• Results are not hits on our website –
they are substantive changes in ‘policy’
So now what?
It’s not just blogs
More research
Develop a network or
partnership
Academic research
communications
Media strategy
Online
communications
Influencing approaches
For example:
Progress Markers
Opportunities and
Threats timeline
Policy Objectives
AIIM
Force Field
Analysis
For example:
Force Field AnalysisFor example:
Policy entrepreneur questionnaire
SWOT
Internal performance frameworks
For example:
Log Frame (flexible)
Outcome Mapping
Journals or impact logs
Internal monitoring
tools
Start by defining your policy objectives –
constantly review them during the
process
For example:
•AIIM
•Stakeholder analysis
•Influence Mapping
•Social Network Analysis
•Force Field Analysis
For example:
Publications, public relations
Media and events
Negotiation and advice
Develop a network or coalition
Research
For example:
RAPID Framework
Drivers of Change
Power Analysis
SWOT
Influence Mapping
Force Field Analysis
A slightly new ROMA
How does
change
happen?
Who are
we?
Vision /
objectives
Impact -Vision
Purpose and
outcomes–Policy
objectives
Approaches
Strategy
An analytical framework
The political context – political
and economic structures and processes, culture, institutional pressures, incremental vs radical change etc.
The evidence – credibility, the
degree it challenges received wisdom, research approaches and methodology, simplicity of the message, how it is packaged etc
External Influences Socio-economic and cultural influences, donor policies etc
The links between policy
and research communities –networks, relationships, power, competing discourses, trust, knowledge etc.
Map political context
Identify key stakeholders
Identify desired changes
Develop an engagement
strategy
Analyse internal
capacity to affect change
Establish Monitoring
and learning systems
The importance of the policy
cycle
Monitoring and Evaluation
Agenda Setting
DecisionMaking
Policy Implementation
Policy Formulation
Map political context
Identify key stakeholders
Identify desired changes
Develop an engagement
strategy
Analyse internal
capacity to affect change
Establish Monitoring
and learning systems
Alignment, Interest and
Influence Matrix (AIIM)
Develop enthusiasm to address topic
Learn in partnership
Develop awareness
and enthusiasm
Challenge existing beliefs
High
Ge
ne
ral l
eve
l of
alig
nm
en
t Low
Low HighInterest in specific topic
1. Map actors
on the matrix
2. Identify which
are the most
influential
3. Who do you
work with
directly?
Map political context
Identify key stakeholders
Identify desired changes
Develop an engagement
strategy
Analyse internal
capacity to affect change
Establish Monitoring
and learning systems
AIIM: some examples
Map political context
Identify key stakeholders
Identify desired changes
Develop an engagement
strategy
Analyse internal
capacity to affect change
Establish Monitoring
and learning systems
DFID Social Development Advisor
Ethiopia Employers Association
Head of PRSP Technical Committee in Min. of Finance &
Econ.
Head of Social & Labour Affairs, Congressional Standing Committee
UNICEF Economic Policy Advisor
Children & Youth Bureau Head, Ministry of Children &
Youth
Children's Rights Club
Representative
Save the Children UK, Economic & Poverty Policy
Officer
Policy Division Head, Ministry of Education
Kebele Women's Association Federation
Officer
Amhara School PTA
Representative
Amhara Regional State Budget Office Head
Key
Type of flow
Expertise Funding Information Lobbying Regulations Scrutiny
Social network analysis
Types of policy objectivesDiscursive changes
Procedural changes
Content changes
Attitudinal changes
Behavioural changes
Map political context
Identify key stakeholders
Identify desired changes
Develop an engagement
strategy
Analyse internal
capacity to affect change
Establish Monitoring
and learning systems
Force Field Analysis
5*
3
?
?
Total = ?
MEF
Time
?
?
Negative forces
4
1
2
?
Total = ?
Funds
CSOs
Public demand
?
Positive forces
2
1
?
?
Your influence on the force
Plan:
Minister of Trade puts forward pro-poor trade and complementary policy programme to the cabinet by April 2008
4
2
2
?
Your influence on the force
Map political context
Identify key stakeholders
Identify desired changes
Develop an engagement
strategy
Analyse internal
capacity to affect change
Establish Monitoring
and learning systems
SWOT Analysis• What type of policy
influencing skills and
capacities do we have?
• In what areas have our
staff used them more
effectively?
• Who are our strongest
allies?
• When have they worked
with us?
• Are there any windows of
opportunity?
• What can affect our ability
to influence policy?
Strengths Weaknesses
Opportunities Threats
Map political context
Identify key stakeholders
Identify desired changes
Develop an engagement
strategy
Analyse internal
capacity to affect change
Establish Monitoring
and learning systems
The Three Stages
OUTCOME MAPPING:Building Learning and Reflection into Development ProgramsSarah Earl, Fred Carden, and Terry Smutylo
http://www.idrc.ca/en/ev-9330-201-1-DO_TOPIC.html
Map political context
Identify key stakeholders
Identify desired changes
Develop an engagement
strategy
Analyse internal
capacity to affect change
Establish Monitoring
and learning systems
For example:
Progress Markers
Opportunities and
Threats timeline
Policy Objectives
AIIM
Force Field
Analysis
For example:
Force Field AnalysisFor example:
Policy entrepreneur questionnaire
SWOT
Internal performance frameworks
For example:
Log Frame (flexible)
Outcome Mapping
Journals or impact logs
Internal monitoring
tools
Start by defining your policy objectives –
constantly review them during the
process
For example:
•AIIM
•Stakeholder analysis
•Influence Mapping
•Social Network Analysis
•Force Field Analysis
For example:
Publications, public relations
Media and events
Negotiation and advice
Develop a network or coalition
Research
For example:
RAPID Framework
Drivers of Change
Power Analysis
SWOT
Influence Mapping
Force Field Analysis
Additional materials
• Evidence based policy in development network
www.ebpdn.org
• Think tanks and political parties in Latin America– http://www.idea.int/publications/thinking_politics/upload/Think-
Tanks_overview_English_inlay.pdf
• ‘RAPID Knowledge’ in Journal of Public
Administration and Development– http://works.bepress.com/cgi/viewcontent.cgi?article=1004&co
ntext=diane_stone
• M&E of research influence – http://www.odi.org.uk/resources/download/1751.pdf
• General on think tanks– http://onthinktanks.wordpress.com
Exercise
In groups: Short statement for
How does
change
happen?
Who are
we?
Vision /
objectives
Impact –Vision
Purpose and outcomes–Policy
objectives
Approaches to influence
Strategy
How does change happen?:
How can we work together?